Labor Organization and Auxiliary Reports

Labor Organization and Auxiliary Reports

LM-1_instructions

Labor Organization and Auxiliary Reports

OMB: 1245-0003

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Public reporting burden for this collection of information is estimated to average 55 minutes per response, including the time for
reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the
collection of information. Persons are not required to respond to the collection of information unless it displays a currently valid OMB
control number. Reporting of this information is mandatory and is required by the Labor-Management Reporting and Disclosure Act of
1959, as amended (LMRDA), for the purpose of public disclosure. As this is public information, there are no assurances of
confidentiality. If you have any comments regarding this estimate or any other aspect of this information collection, including
suggestions for reducing this burden, please send them to the U.S. Department of Labor, Office of Labor-Management Standards,
Division of Interpretations and Standards, Room N-5609, 200 Constitution Avenue, NW, Washington, DC 20210.

DO NOT SEND YOUR COMPLETED FORM LM-1 TO THE ABOVE ADDRESS.

INSTRUCTIONS FOR FORM LM-1 LABOR
ORGANIZATION INFORMATION REPORT
GENERAL INSTRUCTIONS

OLMS. The initial Form LM-1 must report certain
information concerning the structure, practices, and
procedures of the labor organization.

I. WHY FILE
The Labor-Management Reporting and Disclosure Act,
as amended (LMRDA), requires public disclosure of
information concerning the structure, practices, and
procedures of labor organizations. The Secretary, under
the authority of the LMRDA, has prescribed the filing of
the Labor Organization Information Report, Form LM-1,
for labor organizations to satisfy this reporting
requirement.

OLMS will electronically acknowledge receipt of your
organization’s initial Form LM-1 and advise you of the 6digit identifying file number that has been assigned to
your organization. This file number must be entered on
the annual financial reports (Form LM-2, LM-3, or LM-4)
which your labor organization is also required to file with
the Department of Labor. (See Section V below for
information about annual financial reports.)

II. WHO MUST FILE

Amended Form LM-1

Every labor organization subject to the LMRDA, the Civil
Service Reform Act (CSRA), or the Foreign Service Act
(FSA) must file Form LM-1 with the Office of LaborManagement Standards (OLMS) of the U.S. Department
of Labor. These laws cover labor organizations that
represent employees who work in private industry,
employees of the U.S. Postal Service, and most Federal
government employees.

A labor organization is required to file an amended Form
LM-1 to update the information on file with OLMS if there
are any changes in the practices and procedures listed in
Item 18, Column (2) of its most recent Form LM-1. These
are changes in practices and procedures which are not
contained in the labor organization’s constitution and
bylaws.
The amended Form LM-1 must be filed electronically at
the same time your organization files electronically its
annual financial report (Form LM-2, LM- 3, or LM-4) for
the reporting period in which the change occurred.
Please note the amended Form LM-1, like the initial
report, is not filed as part of the annual financial form but
is filed separately through the Form LM-1 portion of the
OLMS Electronic Forms System (EFS). See Part VI –
How to File.

Labor organizations that represent only state, county,
or municipal government employees are not covered by
these laws and, therefore, are not required to file Form
LM-1.
If you have a question about whether your organization
is required to file, contact the nearest OLMS field office
listed at the end of these instructions.
NOTE: Selected definitions from the LMRDA and CSRA
concerning labor organizations, members, and officers
follow these instructions. These definitions may be
helpful in determining whether your organization is
subject to the LMRDA or CSRA.

If your organization changes its affiliation or organization
name or its designation (Items 4-7), then submit the
amended Form LM-1 before you begin work on the
annual Form LM-2, LM-3, or LM-4 report.
NOTE: Federal employee labor organizations subject
solely to the CSRA or FSA are not required to submit an
amended Form LM- 1 to describe changes in their
practices and procedures.

III. WHAT FORMS TO
FILE Initial Form LM-1
Every labor organization subject to the LMRDA, CSRA,
or FSA is required to adopt a constitution and bylaws
and attach a copy with an initial Form LM-1 f iled with

IV. WHO MUST SIGN THE REPORT
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The completed Form LM-1 must be signed electronically

by the president and the secretary or corresponding
officers of the reporting labor organization.

violate any of the provisions of this title, the Secretary
may bring a civil action for such relief (including
injunctions) as may be appropriate.”

V. WHEN TO FILE

The reporting labor organization and the officers
required to sign Form LM-1 are also subject to civil
prosecution for violations of the filing requirements.
According to Section 210 of the LMRDA, “whenever it
shall appear that any person has violated or is about to
violate any of the provisions of this title, the Secretary
may bring a civil action for such relief (including
injunctions) as may be appropriate.”
Under the CSRA and FSA and implementing
regulations, false reporting and failure to report may
result in administrative enforcement action and
litigation. The officers responsible for signing Form LM1 are also subject to criminal penalties for false
reporting under section 1001 of Title 18 of the United
States Code.

You must electronically file Form LM-1 within 90 days
after the date on which your labor organization becomes
subject to the LMRDA, CSRA, or FSA. Also,
subsequent to filing Form LM-1, you must file annual
financial reports (Forms LM- 2, LM-3, or LM-4) within
90 days after the end of your organization’s fiscal year.
Labor organizations with total annual receipts of
$250,000 or more must file the detailed Form LM-2
annual report. Labor organizations with total annual
receipts of less than $250,000, may file the simplified 4page annual report, Form LM-3. Labor organizations
with less than $10,000 in total annual receipts may file
the abbreviated 2-page annual report, Form LM-4.
VI. HOW TO FILE
The Form LM-1 and any required attachments and
additional pages must be completed and submitted
electronically, via the Office of Labor-Management
Standards (OLMS) Electronic Forms System (EFS),
available on the OLMS website at www.dol.gov/olms.

IX. RECORDKEEPING
The individuals required to file Form LM-1 are
responsible for maintaining records which must provide
in sufficient detail the information and data necessary to
verify the accuracy and completeness of the report. You
must retain the records for at least 5 years after the date
the report is filed. You must retain any record necessary
to verify, explain, or clarify the report including, but not
limited to, vouchers, worksheets, receipts, and
applicable resolutions.

If you have difficulty navigating the software, or have
questions about its functions and features, call the
OLMS Help Desk at: (866) 401-1109. For questions
concerning the reporting requirements, please send an
e-mail to [email protected] or call (202) 693-0123.

Individuals are subject to penalties for willfully making
any false entry in or concealing, withholding, or
destroying any books, records, or statements required to

VII. PUBLIC DISCLOSURE
Pursuant to the LMRDA, the U.S. Department of Labor is
required to make all submitted reports available for
public inspection. You may examine the Form LM-1
reports at, and purchase copies from, the OLMS Public
Disclosure Room at www.unionreports.gov. If you have
any questions, please email [email protected] or
call (202) 693-0125.

X. COMPLETING FORM LM-1
Read these instructions carefully before completing
Form LM-1.
IDENTIFICATION ITEMS 1 -9
(To be completed by all filers)

VIII. OFFICER RESPONSIBILITIES AND PENALTIES

Answer Items 1 through 9 as instructed. Enter “None” or
“Not Applicable”, where appropriate. Select the
appropriate box for those questions which require a YES
or NO answer; do not leave both boxes blank.

The president and secretary or the corresponding
principal officers of the labor organization required to
sign Form LM-1 are personally responsible for its filing
and accuracy. Under the LMRDA, these individuals are
subject to criminal penalties for willful failure to file a
required report and for false reporting. False reporting
includes making any false statement or
misrepresentation of a material fact while knowing it to
be false, or for knowingly failing to disclose a material
fact in a required report or in the information required to
be contained in it or in any information required to be
submitted with it.

1. FILE NUMBER—If this is an initial Form LM-1, leave
Item 1 blank. If this is an amended Form LM-1, enter
the 6-digit file number which OLMS has assigned to
your organization. If you cannot obtain the number from
previous reports filed by your organization, contact the
nearest OLMS field office listed at the end of these
instructions to obtain your organization’s file number.

The reporting labor organization and the officers
required to sign Form LM-1 are also subject to civil
prosecution for violations of the filing requirements.
According to Section 210 of the LMRDA, “whenever it
shall appear that any person has violated or is about to
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2. FISCAL YEAR ENDING DATE—If this is an initial
Form LM-1, enter the month and day on which the fiscal
year of your organization ends. If this is an amended
Form LM-1 which must be submitted with your
organization’s annual financial report, enter the last date
covered by the financial report, including the month, day,

and year. This date should be the same as the last date
entered in Item 2 of your organization’s annual financial
report (Forms LM-2, LM-3, or LM-4).

of general officers (president, vice president,
treasurer, secretary, etc.). Do not report the date of
any interim election to fill vacancies.
12. TYPE OF MEMBERSHIP—Select each applicable
box to indicate if any of the members of your
organization are:
• Employees of private industry.
• Employees of the U.S. Postal Service. (Section
1209(b) of the Postal Reorganization Act makes the
LMRDA applicable to labor organizations composed
of such employees.)
• Employees of the Federal government subject to
Title VII of the CSRA or Chapter 10 of the FSA.

3. INITIAL OR AMENDED REPORT—Select YES if this is
the first Form LM-1 filed by your organization. Select
NO if this is an amended Form LM-1 filed by your
organization due to changes in the practices and
procedures listed in Item 18, Column (2) of your
organization’s most recent Form LM-1. These are
changes in practices and procedures which are not
contained in your organization’s constitution and bylaws.
4. AFFILIATION OR ORGANIZATION NAME—Enter
the name of the national or international labor
organization which granted your organization a charter.
If your organization has no such affiliation, enter the
name of your organization as currently identified in your
constitution and bylaws or other organizational
documents.

13. TYPE OF LABOR ORGANIZATION—Select the
appropriate box to indicate whether your organization is a
local labor organization of any kind, an intermediate body
of any kind, or a national or international labor
organization. The selected box should indicate the type of
labor organization rather than its official name.

5 DESIGNATION—Enter the designation that
specifically identifies your organization, such as Local,
Lodge, Branch, Joint Board, Joint Council, District
Council, etc.

14. EXPECTED ANNUAL RECEIPTS—Select the
appropriate box to indicate the expected total annual
receipts of your labor organization. The term “total annual
receipts” means all financial receipts of the labor
organization during its fiscal year, regardless of the
source, including receipts of any subsidiaries and any
special funds. (A subsidiary is any separate organization
of which the ownership is wholly vested in the reporting
labor organization or its officers or its membership, which
is governed or controlled by the officers, employees, or
members of the reporting labor organization, and which is
wholly financed by the reporting labor organization.)

6. DESIGNATION NUMBER—Enter the number or
other identifier, if any, by which your organization is
known.
7. UNIT NAME—Enter any additional or alternate name
by which your organization is known, such as “Chicago
Area Local.”
8. MAILING ADDRESS— Enter the name and title of
the person to whom mail should be directed, and the
complete address where mail should be sent and
received, including any building and room number.

15. OFFICERS—List the names and titles of all the
officers of your organization (including the officers who
sign this report). “Officer” is defined in section 3(n) of the
LMRDA as “any constitutional officer, any person
authorized to perform the functions of president, vice
president, secretary, treasurer, or other executive
functions of a labor organization, and any member of
its executive board or similar governing body.”

9. PLACE WHERE RECORDS ARE KEPT - If you
maintain any of the records required to be kept by your
organization to verify this report at the address reported
in Item 8, select YES. If not, select NO and provide in
Item 19 the address where your organization’s records
are kept.

If any officer listed in Item 15 was not elected in a regular
election in accordance with the provisions of your
organization’s constitution and bylaws or other governing
documents, explain in Item 19 the manner in which the
officer was chosen.
16. DUES AND FEES—Enter the dues and fees
established by your organization. If more than one rate
applies, enter the minimum and maximum rates.

INFORMATION ITEMS 10-17
(To be completed by initial filers only)
10. CITY, COUNTY, AND STATE WHERE
CHARTERED TO OPERATE—Enter the city, county,
and state in which your organization is chartered or
authorized to operate. If there is no city named in
your organization’s charter, or if there is no city in
which the national or international organization has
authorized your organization to operate, then enter
the city, county, and state where your organization’s
main office is located. Do not list a private residence.
If your organization has no main office, enter the city,
county, and state where most of the members work.

Line (a): Enter the regular dues or fees or other periodic
payments which a member must pay to be in good
standing in your organization and enter the calendar
basis for the payment (per month, per year, etc.). If your
organization requires members to pay “working” dues as
a part of regular dues, also report the amount or percent
of “working” dues and enter the basis for the payment
(per hour, per month, etc.). Include only the dues or fees

11. NEXT REGULAR ELECTION—Enter the month
and year of your organization’s next regular election
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of regular members and not dues or fees of members
with special rates, such as apprentices, retirees, or
unemployed members.

Lines (a) through (m) are not described in the
constitution and bylaws or other governing rules filed
with OLMS, select the box in Column (2) and provide a
detailed statement in Item 19, , explaining your
organization’s practice or procedure for such matters.

Line (b): Enter the working dues required from
members.

In Item 18(g)(1), the reference to “representatives to
other bodies composed of labor organizations’
representatives” is meant to include representatives to
other labor organization bodies, such as delegates to the
conventions of the national or international, delegates to
a joint board, joint council, or other intermediate body,
delegates to state or local central bodies, etc. It is not
meant to include representatives to community or public
bodies such as the Red Cross, the United Way,
government committees, etc.

Line (c): Enter the initiation fees required from new
members.
Line (d): Enter the fees other than dues required from
transferred members. Such fees are those charged to
persons applying for a transfer of membership to your
organization from another labor organization with the
same affiliation. Do not report fees charged to members
transferring from one class of membership to another
within your organization.

ADDITIONAL INFORMATION
(To be completed by all filers as necessary)

Line (e): If your organization issues work permits, enter
the fees required and enter the calendar basis for the
payment (per month, per year, etc.). Work permit fees
are fees charged to nonmembers of your organization
who work within its jurisdiction. Do not report as work
permit fees those fees charged to nonmember
applicants for membership pending acceptance of their
membership application, or fees charged to persons
applying for transfer of membership to your
organization pending acceptance of their application for
transfer.
Enter NONE if your organization does not issue work
permits.

19. ADDITIONAL INFORMATION—Use Item 19 to
provide additional information as indicated on Form LM- 1
and in these instructions. Enter the number of the item to
which the information relates in the Item Number column.
SIGNATURES
(To be completed by all filers)
20–21. SIGNATURES—The completed Form LM-1
which is filed with OLMS must be signed electronically by
both the president and secretary or corresponding
principal officers of your organization. This report must
bear two (2) signatures. If the report is signed by an
officer other than the president and/or secretary, so
indicate by entering the correct title in the title field next to
the signature. Then you must Save and revalidate the
form. Once the form has passed validation, then you
must click to sign the report. Enter the date the report
was signed and the telephone number(s) used by
signatories to conduct official business. You do not have
to report a private, unlisted telephone number.

17. CONSTITUTION AND BYLAWS—A copy of
your organization’s constitution and bylaws must be
filed
elec tr onic ally with OLMS. Attach the copy to the
Form LM-1 submitted electronically. If your organization
is governed by a uniform constitution and bylaws
prescribed by your organization’s parent national or
international body, your organization’s parent body may
file the constitution and bylaws on your behalf. If your
parent body files a constitution and bylaws on your
behalf, select YES.

SELECTED DEFINITIONS FROM THE LABORMANAGEMENT REPORTING AND DISCLOSURE ACT
OF 1959, AS AMENDED (LMRDA)

If your parent body does not file a constitution and
bylaws on your behalf, you must complete the following:
select NO; list the governing documents that you are
filing with this report in the space provided in Item 17;
and attach a dated copy of the governing documents to
this report. Be sure the documents contain the name of
your organization.

“Industry affecting commerce” means any activity,
business, or industry in commerce or in which a labor
dispute would hinder or obstruct commerce or the free
flow of commerce and includes any activity or industry
“affecting commerce” within the meaning of the Labor
Management Relations Act, 1947, as amended, or the
Railway Labor Act, as amended. (29 U.S.C. 402(c))

PRACTICES AND PROCEDURES ITEM 18
(To be completed by all filers except Federal
employee labor organizations subject solely to the
CSRA or the FSA).

“Labor organization” means a labor organization
engaged in an industry affecting commerce and includes
any organization of any kind, any agency, or employee
representation committee, group, association, or plan so
engaged in which employees participate and which exists
for the purpose, in whole or in part, of dealing with
employers concerning grievances, labor disputes,

18. PRACTICES AND PROCEDURES—For each of
Lines (a) through (m), indicate in Column (1) the page
number and section or paragraph where each practice
or procedure is described in your organization’s
constitution and bylaws or other governing rules filed
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SELECT DEFINITIONS FROM THE CIVIL SERVICE
REFORM ACT (CSRA)

wages, rates of pay, hours, or other terms or conditions
of employment, and any conference, general committee,
joint or system board, or joint council so engaged which
is subordinate to a national or international labor
organization, other than a State or local central body. (29
U.S.C 402(i))

“Labor organization” means an organization composed
in whole or in part of employees, in which
employees participate and pay dues, and which has as a
purpose the dealing with an agency concerning
grievances and conditions of employment, but does not
include—

A labor organization shall be deemed to be engaged
in an industry affecting commerce if it—

an organization which, by its constitution, bylaws, tacit
agreement among its members, or otherwise, denies
membership because of race, color, creed, national
origin, sex, age, preferential or non-preferential civil
service status, political affiliation, marital

(1) is certified representative of employees
under the provisions of the National Labor Relations
Act, as amended, or the Railway Labor Act, as
amended; or
(2) although not certified, is a national or
international labor organization or a local labor
organization recognized or acting as the representative
of employees of an employer or employers engaged
in an industry affecting commerce; or

(A) status, or handicapping condition;
(B) an organization which advocates the
overthrow of the constitutional form of government of the
United States;

(3) has chartered a local labor organization or
subsidiary body which is representing or actively seeking
to represent employees of employers within the meaning
of paragraph (1) or (2); or

(C) an organization sponsored by an agency; or
(D) an organization which participates in the
conduct of a strike against the Government or any agency
thereof or imposes a duty or obligation to conduct, assist,
or participate in such a strike. (5 U.S.C. 7103 (a)(4))

(4) has been chartered by a labor organization
representing or actively seeking to represent employees
within the meaning of paragraph (1) or (2) as the local or
subordinate body through which such employees may
enjoy membership or become affiliated with such labor
organization; or

NOTE: The definition of “labor organization” for unions
which represent employees of the Department of State
and the United States Information Agency is contained in
section 4102 of the FSA.

If You Need Assistance

(5) is a conference, general committee, joint or
system board, or joint council, subordinate to a national
or international labor organization, which includes a
labor organization engaged in an industry affecting
commerce within the meaning of any of the preceding
paragraphs of this subsection, other than a State or
local central body. (29 U.S.C. 402(j))

The Office of Labor-Management Standards has field
offices located in the following cities to assist you if you
have any questions concerning LMRDA and CSRA
reporting requirements.
Atlanta, GA
Birmingham, AL
Boston, MA
Buffalo, NY
Chicago, IL
Cincinnati, OH
Cleveland, OH
Dallas, TX
Denver, CO
Detroit, MI
Fort Lauderdale, FL
Honolulu, HI
Kansas City, MO
Los Angeles, CA
Milwaukee, WI
Minneapolis, MN
Nashville, TN
New Orleans,
LA New York,
NY Philadelphia,
PA Pittsburgh,
PA St. Louis,

“Officer” means any constitutional officer, any person
authorized to perform fhe functions of president, vice
president, secretary, treasurer, or other executive
functions of a labor organization, and any member of
its executive board or similar governing body. (29
U.S.C. 402(n))
“Member” or “member in good standing”, when
used in reference to a labor organization, includes any
person who has fulfilled the requirements for
membership in such organization, and who neither has
voluntarily withdrawn from membership nor has been
expelled or suspended from membership after
appropriate proceedings consistent with lawful
provisions of the constitution and bylaws of such
organization. (29 U.S.C. 402(o))
NOTE: Pursuant to section 1209(b) of the Postal
Reorganization Act, the LMRDA is applicable to labor
organizations composed of U.S. Postal Service
employees.
5

San Francisco, CA
Seattle, WA
Tampa, FL
Washington, DC
Copies of labor organization annual financial reports,
employer reports, and labor relations consultant reports
filed for the year 2000 and after can be viewed and
printed at http://www.unionreports.gov. Copies of reports
for the year 1999 and earlier can be ordered through the
website.
Information about OLMS, including key personnel and
telephone numbers, compliance assistance materials,
the text of the LMRDA, and related Federal Register and
Code of Federal Regulations (CFR) documents, is also
available on the Internet at: http://www.olms.dol.gov.
Additionally, you can call the OLMS national office at
(202) 693-0123 or email [email protected].
Revised June 2020 (Technical
Revisions October 2020)

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